{
  "crd_number": 282580,
  "slug": "ae-wealth-management-llc-topeka-ks-282580",
  "primary_business_name": "AE WEALTH MANAGEMENT, LLC",
  "legal_name": "AE WEALTH MANAGEMENT, LLC",
  "dbas": [],
  "city": "Topeka",
  "state": "KS",
  "country": "United States",
  "cbsa_code": "45820",
  "metro": {
    "cbsa_code": "45820",
    "common_name": "Topeka",
    "msa_name": "Topeka, KS",
    "path": "/advisors/ks/topeka"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2016-02-17",
  "years_registered": 10,
  "period": "2026-10-01",
  "filing_date": "2026-08-13",
  "carried_forward": false,
  "raum_total": 49837385888.0,
  "raum_discretionary": 49837385888.0,
  "raum_non_discretionary": 0.0,
  "raum_band": "over_5b",
  "raum_band_label": "Over $5 billion",
  "total_employees": 630,
  "advisory_employees": 448,
  "client_count_bucket": null,
  "clients_by_type": {
    "other": {
      "raum": 0.0,
      "count": 0
    },
    "charitable": {
      "raum": 8673919.0,
      "count": 32
    },
    "individuals": {
      "raum": 30200616450.0,
      "count": 117769
    },
    "banking_thrift": {
      "raum": 0.0,
      "count": 0
    },
    "state_municipal": {
      "raum": 0.0,
      "count": 0
    },
    "insurance_companies": {
      "raum": 0.0,
      "count": 0
    },
    "investment_companies": {
      "raum": 0.0,
      "count": 0
    },
    "pension_profit_sharing": {
      "raum": 195873220.0,
      "count": 207
    },
    "other_investment_advisers": {
      "raum": 0.0,
      "count": 0
    },
    "high_net_worth_individuals": {
      "raum": 19076295563.0,
      "count": 9444
    },
    "pooled_investment_vehicles": {
      "raum": 0.0,
      "count": 0
    },
    "corporations_other_businesses": {
      "raum": 355926736.0,
      "count": 621
    },
    "business_development_companies": {
      "raum": 0.0,
      "count": 0
    },
    "sovereign_wealth_foreign_official": {
      "raum": 0.0,
      "count": 0
    }
  },
  "compensation_types": [
    "fixed",
    "hourly",
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "educational_seminars",
    "financial_planning",
    "pension_consulting",
    "periodicals_newsletters",
    "portfolio_management_businesses_institutional",
    "portfolio_management_individuals",
    "selection_of_other_advisers"
  ],
  "wrap_fee_participant": true,
  "disclosure_yes_count": 11,
  "states_registered": [
    "AK",
    "AL",
    "AR",
    "AZ",
    "CA",
    "CO",
    "CT",
    "DC",
    "DE",
    "FL",
    "GA",
    "HI",
    "IA",
    "ID",
    "IL",
    "IN",
    "KS",
    "KY",
    "LA",
    "MA",
    "MD",
    "ME",
    "MI",
    "MN",
    "MO",
    "MS",
    "MT",
    "NC",
    "ND",
    "NE",
    "NH",
    "NJ",
    "NM",
    "NV",
    "NY",
    "OH",
    "OK",
    "OR",
    "PA",
    "PR",
    "RI",
    "SC",
    "SD",
    "TN",
    "TX",
    "UT",
    "VA",
    "VI",
    "VT",
    "WA",
    "WI",
    "WV",
    "WY"
  ],
  "websites": [
    "https://aewealthmanagement.com",
    "https://facebook.com/AEWealthManagement",
    "https://joinaewealth.com",
    "https://linkedin.com/company/ae-wealth-management-llc",
    "https://youtube.com/@AEWealth"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/282580",
  "disclosure_items": [
    {
      "item": "11.C(2)",
      "question": "Has the SEC or the CFTC ever found that the firm or an advisory affiliate was involved in a violation of SEC or CFTC regulations or statutes?"
    },
    {
      "item": "11.C(4)",
      "question": "Has the SEC or the CFTC ever entered an order against the firm or an advisory affiliate in connection with investment-related activity?"
    },
    {
      "item": "11.C(5)",
      "question": "Has the SEC or the CFTC ever imposed a civil money penalty on the firm or an advisory affiliate, or ordered the firm or an advisory affiliate to cease and desist from an activity?"
    },
    {
      "item": "11.D(1)",
      "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate made a false statement or omission, or was dishonest, unfair, or unethical?"
    },
    {
      "item": "11.D(2)",
      "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was involved in a violation of investment-related regulations or statutes?"
    },
    {
      "item": "11.D(3)",
      "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was a cause of an investment-related business having its authorization to do business denied, suspended, revoked, or restricted?"
    },
    {
      "item": "11.D(4)",
      "question": "In the past ten years, has another federal regulator, a state regulator, or a foreign financial regulator entered an order against the firm or an advisory affiliate in connection with investment-related activity?"
    },
    {
      "item": "11.D(5)",
      "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever denied, suspended, or revoked the registration or license of the firm or an advisory affiliate, prevented either by order from associating with an investment-related business, or restricted either one's activity?"
    },
    {
      "item": "11.E(1)",
      "question": "Has a self-regulatory organization (such as FINRA) or a commodities exchange ever found that the firm or an advisory affiliate made a false statement or omission?"
    },
    {
      "item": "11.E(2)",
      "question": "Has a self-regulatory organization or a commodities exchange ever found that the firm or an advisory affiliate was involved in a violation of its rules, other than a minor rule violation under a plan the SEC approved?"
    },
    {
      "item": "11.E(4)",
      "question": "Has a self-regulatory organization or a commodities exchange ever disciplined the firm or an advisory affiliate by expelling or suspending it from membership, barring or suspending it from association with other members, or otherwise restricting its activities?"
    }
  ],
  "city_as_filed": "TOPEKA",
  "url": "https://advisorcensus.com/firm/ae-wealth-management-llc-topeka-ks-282580",
  "display_name": "AE Wealth Management, LLC",
  "summary": "AE Wealth Management, LLC is an SEC-registered investment advisory firm in Topeka, KS, registered since 2016, reporting over $5 billion in regulatory assets under management in its Form ADV filing dated August 13, 2026.",
  "citation": "AdvisorCensus. AE Wealth Management, LLC (CRD 282580): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management",
    "Hourly charges",
    "Fixed fees (other than subscription fees)"
  ],
  "advisory_activity_labels": [
    "Financial planning services",
    "Portfolio management for individuals and/or small businesses",
    "Portfolio management for businesses (other than small businesses) or institutional clients",
    "Pension consulting services",
    "Selection of other advisers (including private fund managers)",
    "Publication of periodicals or newsletters",
    "Educational seminars/workshops"
  ],
  "quick_answers": [
    {
      "q": "How is AE Wealth Management, LLC compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), AE Wealth Management, LLC reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees)."
    },
    {
      "q": "Where is AE Wealth Management, LLC located?",
      "a": "AE Wealth Management, LLC's principal office is in Topeka, KS, according to its Form ADV; the September 2026 filing also lists 24 other offices (Schedule D, Section 1.F)."
    },
    {
      "q": "Is AE Wealth Management, LLC registered with the SEC or a state?",
      "a": "AE Wealth Management, LLC is an SEC-registered investment advisory firm, registered since 2016. Status as filed: Approved. CRD 282580."
    },
    {
      "q": "How much does AE Wealth Management, LLC manage?",
      "a": "AE Wealth Management, LLC reports $49,837,385,888 in regulatory assets under management in its Form ADV filing dated August 13, 2026 (100% discretionary)."
    },
    {
      "q": "How have AE Wealth Management, LLC's assets and staff changed since 2021?",
      "a": "In the Form ADV data for AE Wealth Management, LLC: Regulatory assets under management: $12,637,103,953 in the October 2021 data and $49,837,385,888 in the October 2026 data, up 294%. Total employees: 513 in October 2021 and 630 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does AE Wealth Management, LLC serve?",
      "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (117,769); high net worth individuals (9,444); corporations or other businesses not listed above (621)."
    },
    {
      "q": "Which custodians does AE Wealth Management, LLC use?",
      "a": "AE Wealth Management, LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. and Fidelity Brokerage Services LLC as custodians holding 10% or more of its separately managed account assets."
    },
    {
      "q": "Does AE Wealth Management, LLC report any disciplinary disclosures?",
      "a": "Reports 11 disclosure items on Form ADV Item 11: yes answers to 11 questions about regulatory matters (11.C(2), 11.C(4), 11.C(5), 11.D(1), 11.D(2), 11.D(3), 11.D(4), 11.D(5), 11.E(1), 11.E(2), 11.E(4)). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/282580"
    },
    {
      "q": "What changed in AE Wealth Management, LLC's recent Form ADV filings?",
      "a": "In the August 2026 filing data: Registered or notice-filed in PR."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 12637103953.0,
      "total_employees": 513,
      "filing_date": "2021-09-22"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 19640089134.0,
      "total_employees": 572,
      "filing_date": "2022-03-31"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 19248840448.0,
      "total_employees": 571,
      "filing_date": "2023-04-05"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 27082623332.0,
      "total_employees": 578,
      "filing_date": "2024-09-09"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 37525706084.0,
      "total_employees": 602,
      "filing_date": "2025-07-15"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 49837385888.0,
      "total_employees": 630,
      "filing_date": "2026-08-13"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-08-01",
      "period_label": "August 2026",
      "notes": [
        "Registered or notice-filed in PR."
      ]
    },
    {
      "period": "2026-04-01",
      "period_label": "April 2026",
      "notes": [
        "Employees performing advisory functions went from 435 to 448.",
        "Regulatory assets under management went from $37,525,706,084 to $49,837,385,888 (+33%).",
        "Changed its office addresses in Jacksonville, FL.",
        "Changed its office addresses in Mesa, AZ.",
        "Added an office in Huntsville, AL.",
        "Added an office in Topeka, KS.",
        "Added an office in Tucson, AZ.",
        "Added an office in West Chester, OH.",
        "No longer lists an office in Englewood, CO.",
        "No longer lists an office in Leo, IN.",
        "No longer lists an office in Sandy, UT.",
        "No longer lists an office in Winter Garden, FL.",
        "Updated its list of owners and control persons (Schedule A)."
      ]
    },
    {
      "period": "2025-12-01",
      "period_label": "December 2025",
      "notes": [
        "Item 11 disclosure answers changed: 11 yes answers, previously 10 (now yes: 11.E(1))."
      ]
    }
  ],
  "fees_from_brochure": null,
  "custodians": [
    {
      "name": "Charles Schwab & Co., Inc.",
      "name_as_filed": "CHARLES SCHWAB & CO., INC.",
      "affiliated": false
    },
    {
      "name": "Fidelity Brokerage Services LLC",
      "name_as_filed": "FIDELITY BROKERAGE SERVICES LLC",
      "affiliated": false
    }
  ],
  "custodians_note": "Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.",
  "markdown_url": "https://advisorcensus.com/firm/ae-wealth-management-llc-topeka-ks-282580.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 117769,
      "fewer_than_5": false,
      "raum": 30200616450.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 9444,
      "fewer_than_5": false,
      "raum": 19076295563.0
    },
    {
      "type": "banking_thrift",
      "label": "Banking or thrift institutions",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "investment_companies",
      "label": "Investment companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "business_development_companies",
      "label": "Business development companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "pooled_investment_vehicles",
      "label": "Pooled investment vehicles (other than investment companies and business development companies)",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "pension_profit_sharing",
      "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)",
      "count": 207,
      "fewer_than_5": false,
      "raum": 195873220.0
    },
    {
      "type": "charitable",
      "label": "Charitable organizations",
      "count": 32,
      "fewer_than_5": false,
      "raum": 8673919.0
    },
    {
      "type": "state_municipal",
      "label": "State or municipal government entities (including government pension plans)",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "other_investment_advisers",
      "label": "Other investment advisers",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "insurance_companies",
      "label": "Insurance companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "sovereign_wealth_foreign_official",
      "label": "Sovereign wealth funds and foreign official institutions",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "corporations_other_businesses",
      "label": "Corporations or other businesses not listed above",
      "count": 621,
      "fewer_than_5": false,
      "raum": 355926736.0
    },
    {
      "type": "other",
      "label": "Other",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    }
  ],
  "disclosure_line": "Reports 11 disclosure items on Form ADV Item 11.",
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/282580",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}